RWT

SEC source: 0001453409-17-000004 · edgardoc.xml · nonDerivative · entry 1

Abate Christopher J · CIK 0001453409 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 39,156

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: This transaction relates to the distribution and/or conversion of Deferred Stock Units to common stock under the Executive Deferred Compensation Plan.

F2 · price: Represents the value (per stock unit or share of common stock) of the distribution and/or conversion of Deferred Stock Units, including to common stock under the Executive Deferred Compensation Plan, based on the fair market value of Redwood Trust, Inc. common stock on the transaction date.

SEC source: 0001024553-17-000002 · edgardoc.xml · derivative · entry 4

Hughes Martin S · CIK 0001024553 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 29,660 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.exercise_price: Represents fair value of Deferred Stock Units, based on the original grant date fair market value.

F1 · kind: This transaction relates to the distribution and/or conversion of Deferred Stock Units to common stock under the Executive Deferred Compensation Plan.

F1 · price: This transaction relates to the distribution and/or conversion of Deferred Stock Units to common stock under the Executive Deferred Compensation Plan.

F5 · derivative.exercise_date: Deferred Stock Units were subject to a mandatory holding period and are being delivered to the Participant at the time provided in the Deferral Election Form, according to the terms and conditions of the Executive Deferred Compensation Plan.

F6 · derivative.expiration_date: No expiration date is applicable to deferred stock units.

F7 · balance_after: Following these reported transactions, no other Deferred Stock Units with the same original grant date are beneficially owned.

SEC source: 0001024553-17-000002 · edgardoc.xml · derivative · entry 3

Hughes Martin S · CIK 0001024553 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,660

Underlying: Common Stock · 36,618 shares

Expires not disclosed

F3 · derivative.exercise_price: Represents fair value of Deferred Stock Units, based on the original grant date fair market value.

F4 · kind: This disposition transaction represents a Compensation Committee approved withholding of securities incident to the payment of tax liability relating to the distribution and/or conversion of Deferred Stock Units in the Executive Deferred Compensation Plan.

F1 · price: This transaction relates to the distribution and/or conversion of Deferred Stock Units to common stock under the Executive Deferred Compensation Plan.

F5 · derivative.exercise_date: Deferred Stock Units were subject to a mandatory holding period and are being delivered to the Participant at the time provided in the Deferral Election Form, according to the terms and conditions of the Executive Deferred Compensation Plan.

F6 · derivative.expiration_date: No expiration date is applicable to deferred stock units.

SEC source: 0001024553-17-000002 · edgardoc.xml · nonDerivative · entry 1

Hughes Martin S · CIK 0001024553 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · by Trust

Disclosed balance after: 682,729

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: This transaction relates to the distribution and/or conversion of Deferred Stock Units to common stock under the Executive Deferred Compensation Plan.

F2 · price: Represents the value (per stock unit or share of common stock) of the distribution and/or conversion of Deferred Stock Units, including to common stock under the Executive Deferred Compensation Plan, based on the fair market value of Redwood Trust, Inc. common stock on the transaction date.

SEC source: 0001706281-17-000005 · edgardoc.xml · derivative · entry 2

Kanouse Garnet W · CIK 0001706281 · Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 38,049

Underlying: Common Stock · 38,049 shares

Expires not disclosed

F5 · security: This transaction relates to the grant of Performance Stock Units ("PSUs"), which are performance-based equity awards. The number of underlying shares of common stock of Redwood Trust, Inc. ("Common Stock") that vest and that the recipient becomes entitled to receive at the time of vesting will generally range from 0% to 200% of a target number of PSUs granted, contingent on the achievement of a pre-established performance metric (with the target number of PSUs granted being adjusted to reflect the value of any dividends on Common Stock declared during the vesting period). Vesting of these PSUs will generally occur at the end of three years (on December 12, 2020) based on three-year total stockholder return. Please refer to Item 5.02(e) of the Current Report on Form 8-K filed on December 14, 2017 by Redwood Trust, Inc. for a description of the terms of these PSUs, which Item 5.02(e) qualifies, in its entirety, the description set forth in this footnote (5) and footnote (7) below.

F6 · derivative.exercise_price: Represents grant date fair value of the PSUs issued.

F7 · shares: Represents the target number of PSUs granted.

F8 · derivative.exercise_date: Vested shares, if any, will be delivered to the Participant no later than December 31, 2020.

F9 · derivative.expiration_date: No expiration date is applicable to performance stock units.

SEC source: 0001706281-17-000005 · edgardoc.xml · derivative · entry 1

Kanouse Garnet W · CIK 0001706281 · Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,978

Underlying: Common Stock · 27,978 shares

Expires not disclosed

F1 · security: This transaction relates to the grant of Deferred Stock Units.

F2 · derivative.exercise_price: Represents grant date fair value of the DSUs issued, based on the fair market value of RWT common stock on the transaction date under the 2014 Incentive Award Plan.

F3 · derivative.exercise_date: 25% vests 1/31/2019, 6.25% every quarter thereafter (beginning with the quarter end 3/31/2019). Fully vested 12/12/2021.

F4 · derivative.expiration_date: No expiration date is applicable to deferred stock units.

SEC source: 0001681908-17-000004 · edgardoc.xml · derivative · entry 2

Stern Shoshone (Bo) · CIK 0001681908 · Chief Investment Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,572

Underlying: Common Stock · 33,572 shares

Expires not disclosed

F5 · security: This transaction relates to the grant of Performance Stock Units ("PSUs"), which are performance-based equity awards. The number of underlying shares of common stock of Redwood Trust, Inc. ("Common Stock") that vest and that the recipient becomes entitled to receive at the time of vesting will generally range from 0% to 200% of a target number of PSUs granted, contingent on the achievement of a pre-established performance metric (with the target number of PSUs granted being adjusted to reflect the value of any dividends on Common Stock declared during the vesting period). Vesting of these PSUs will generally occur at the end of three years (on December 12, 2020) based on three-year total stockholder return. Please refer to Item 5.02(e) of the Current Report on Form 8-K filed on December 14, 2017 by Redwood Trust, Inc. for a description of the terms of these PSUs, which Item 5.02(e) qualifies, in its entirety, the description set forth in this footnote (5) and footnote (7) below.

F6 · derivative.exercise_price: Represents grant date fair value of the PSUs issued.

F7 · shares: Represents the target number of PSUs granted.

F8 · derivative.exercise_date: Vested shares, if any, will be delivered to the Participant no later than December 31, 2020.

F9 · derivative.expiration_date: No expiration date is applicable to performance stock units.

SEC source: 0001681908-17-000004 · edgardoc.xml · derivative · entry 1

Stern Shoshone (Bo) · CIK 0001681908 · Chief Investment Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 24,687

Underlying: Common Stock · 24,687 shares

Expires not disclosed

F1 · security: This transaction relates to the grant of Deferred Stock Units.

F2 · derivative.exercise_price: Represents grant date fair value of the DSUs issued, based on the fair market value of RWT common stock on the transaction date under the 2014 Incentive Award Plan.

F3 · derivative.exercise_date: 25% vests 1/31/2019, 6.25% every quarter thereafter (beginning with the quarter end 3/31/2019). Fully vested 12/12/2021.

F4 · derivative.expiration_date: No expiration date is applicable to deferred stock units.

SEC source: 0001513564-17-000006 · edgardoc.xml · derivative · entry 2

COCHRANE COLLIN LEE · CIK 0001513564 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,096

Underlying: Common Stock · 29,096 shares

Expires not disclosed

F5 · security: This transaction relates to the grant of Performance Stock Units ("PSUs"), which are performance-based equity awards. The number of underlying shares of common stock of Redwood Trust, Inc. ("Common Stock") that vest and that the recipient becomes entitled to receive at the time of vesting will generally range from 0% to 200% of a target number of PSUs granted, contingent on the achievement of a pre-established performance metric (with the target number of PSUs granted being adjusted to reflect the value of any dividends on Common Stock declared during the vesting period). Vesting of these PSUs will generally occur at the end of three years (on December 12, 2020) based on three-year total stockholder return. Please refer to Item 5.02(e) of the Current Report on Form 8-K filed on December 14, 2017 by Redwood Trust, Inc. for a description of the terms of these PSUs, which Item 5.02(e) qualifies, in its entirety, the description set forth in this footnote (5) and footnote (7) below.

F6 · derivative.exercise_price: Represents grant date fair value of the PSUs issued.

F7 · shares: Represents the target number of PSUs granted.

F8 · derivative.exercise_date: Vested shares, if any, will be delivered to the Participant no later than December 31, 2020.

F9 · derivative.expiration_date: No expiration date is applicable to performance stock units.

SEC source: 0001513564-17-000006 · edgardoc.xml · derivative · entry 1

COCHRANE COLLIN LEE · CIK 0001513564 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,395

Underlying: Common Stock · 21,395 shares

Expires not disclosed

F1 · security: This transaction relates to the grant of Deferred Stock Units.

F2 · derivative.exercise_price: Represents grant date fair value of the DSUs issued, based on the fair market value of RWT common stock on the transaction date under the 2014 Incentive Award Plan.

F3 · derivative.exercise_date: 25% vests 1/31/2019, 6.25% every quarter thereafter (beginning with the quarter end 3/31/2019). Fully vested 12/12/2021.

F4 · derivative.expiration_date: No expiration date is applicable to deferred stock units.

SEC source: 0001716998-17-000003 · edgardoc.xml · derivative · entry 2

Robinson Dashiell I · CIK 0001716998 · Executive Vice-President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 67,144

Underlying: Common Stock · 67,144 shares

Expires not disclosed

F5 · security: This transaction relates to the grant of Performance Stock Units ("PSUs"), which are performance-based equity awards. The number of underlying shares of common stock of Redwood Trust, Inc. ("Common Stock") that vest and that the recipient becomes entitled to receive at the time of vesting will generally range from 0% to 200% of a target number of PSUs granted, contingent on the achievement of a pre-established performance metric (with the target number of PSUs granted being adjusted to reflect the value of any dividends on Common Stock declared during the vesting period). Vesting of these PSUs will generally occur at the end of three years (on December 12, 2020) based on three-year total stockholder return. Please refer to Item 5.02(e) of the Current Report on Form 8-K filed on December 14, 2017 by Redwood Trust, Inc. for a description of the terms of these PSUs, which Item 5.02(e) qualifies, in its entirety, the description set forth in this footnote (5) and footnote (7) below.

F6 · derivative.exercise_price: Represents grant date fair value of the PSUs issued.

F7 · shares: Represents the target number of PSUs granted.

F8 · derivative.exercise_date: Vested shares, if any, will be delivered to the Participant no later than December 31, 2020.

F9 · derivative.expiration_date: No expiration date is applicable to performance stock units.

SEC source: 0001716998-17-000003 · edgardoc.xml · derivative · entry 1

Robinson Dashiell I · CIK 0001716998 · Executive Vice-President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 49,374

Underlying: Common Stock · 49,374 shares

Expires not disclosed

F1 · security: This transaction relates to the grant of Deferred Stock Units.

F2 · derivative.exercise_price: Represents grant date fair value of the DSUs issued, based on the fair market value of RWT common stock on the transaction date under the 2014 Incentive Award Plan.

F3 · derivative.exercise_date: 25% vests 1/31/2019, 6.25% every quarter thereafter (beginning with the quarter end 3/31/2019). Fully vested 12/12/2021.

F4 · derivative.expiration_date: No expiration date is applicable to deferred stock units.

SEC source: 0001487805-17-000002 · edgardoc.xml · derivative · entry 2

Stone Andrew P · CIK 0001487805 · General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 38,049

Underlying: Common Stock · 38,049 shares

Expires not disclosed

F5 · security: This transaction relates to the grant of Performance Stock Units ("PSUs"), which are performance-based equity awards. The number of underlying shares of common stock of Redwood Trust, Inc. ("Common Stock") that vest and that the recipient becomes entitled to receive at the time of vesting will generally range from 0% to 200% of a target number of PSUs granted, contingent on the achievement of a pre-established performance metric (with the target number of PSUs granted being adjusted to reflect the value of any dividends on Common Stock declared during the vesting period). Vesting of these PSUs will generally occur at the end of three years (on December 12, 2020) based on three-year total stockholder return. Please refer to Item 5.02(e) of the Current Report on Form 8-K filed on December 14, 2017 by Redwood Trust, Inc. for a description of the terms of these PSUs, which Item 5.02(e) qualifies, in its entirety, the description set forth in this footnote (5) and footnote (7) below.

F6 · derivative.exercise_price: Represents grant date fair value of the PSUs issued.

F7 · shares: Represents the target number of PSUs granted.

F8 · derivative.exercise_date: Vested shares, if any, will be delivered to the Participant no later than December 31, 2020.

F9 · derivative.expiration_date: No expiration date is applicable to performance stock units.

SEC source: 0001487805-17-000002 · edgardoc.xml · derivative · entry 1

Stone Andrew P · CIK 0001487805 · General Counsel

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,978

Underlying: Common Stock · 27,978 shares

Expires not disclosed

F1 · security: This transaction relates to the grant of Deferred Stock Units.

F2 · derivative.exercise_price: Represents grant date fair value of the DSUs issued, based on the fair market value of RWT common stock on the transaction date under the 2014 Incentive Award Plan.

F3 · derivative.exercise_date: 25% vests 1/31/2019, 6.25% every quarter thereafter (beginning with the quarter end 3/31/2019). Fully vested 12/12/2021.

F4 · derivative.expiration_date: No expiration date is applicable to deferred stock units.

SEC source: 0001453409-17-000002 · edgardoc.xml · derivative · entry 2

Abate Christopher J · CIK 0001453409 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 67,144

Underlying: Common Stock · 67,144 shares

Expires not disclosed

F5 · security: This transaction relates to the grant of Performance Stock Units ("PSUs"), which are performance-based equity awards. The number of underlying shares of common stock of Redwood Trust, Inc. ("Common Stock") that vest and that the recipient becomes entitled to receive at the time of vesting will generally range from 0% to 200% of a target number of PSUs granted, contingent on the achievement of a pre-established performance metric (with the target number of PSUs granted being adjusted to reflect the value of any dividends on Common Stock declared during the vesting period). Vesting of these PSUs will generally occur at the end of three years (on December 12, 2020) based on three-year total stockholder return. Please refer to Item 5.02(e) of the Current Report on Form 8-K filed on December 14, 2017 by Redwood Trust, Inc. for a description of the terms of these PSUs, which Item 5.02(e) qualifies, in its entirety, the description set forth in this footnote (5) and footnote (7) below.

F6 · derivative.exercise_price: Represents grant date fair value of the PSUs issued.

F7 · shares: Represents the target number of PSUs granted.

F8 · derivative.exercise_date: Vested shares, if any, will be delivered to the Participant no later than December 31, 2020.

F9 · derivative.expiration_date: No expiration date is applicable to performance stock units.

SEC source: 0001453409-17-000002 · edgardoc.xml · derivative · entry 1

Abate Christopher J · CIK 0001453409 · Director · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 49,374

Underlying: Common Stock · 49,374 shares

Expires not disclosed

F1 · security: This transaction relates to the grant of Deferred Stock Units.

F2 · derivative.exercise_price: Represents grant date fair value of the DSUs issued, based on the fair market value of RWT common stock on the transaction date under the 2014 Incentive Award Plan.

F3 · derivative.exercise_date: 25% vests 1/31/2019, 6.25% every quarter thereafter (beginning with the quarter end 3/31/2019). Fully vested 12/12/2021.

F4 · derivative.expiration_date: No expiration date is applicable to deferred stock units.

SEC source: 0001233565-17-000012 · edgardoc.xml · derivative · entry 1

KUBICEK GREG H · CIK 0001233565 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,041.01

Underlying: Common Stock · 4,041.01 shares

Expires not disclosed

F1 · shares: This transaction relates to the acquisition of Deferred Stock Units in accordance with the deferral election made with respect to director compensation and/or dividend equivalent rights according to the terms and conditions of the Redwood Trust Inc. Amended and Restated Executive Deferred Compensation Plan.

F2 · derivative.exercise_date: 100% vested at grant.

F3 · derivative.expiration_date: No expiration date is applicable to deferred stock units.

SEC source: 0001221603-17-000015 · edgardoc.xml · derivative · entry 1

PROCTOR GEORGANNE · CIK 0001221603 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,040.26

Underlying: Common Stock · 1,040.26 shares

Expires not disclosed

F1 · shares: This transaction relates to the acquisition of Deferred Stock Units in accordance with the deferral election made with respect to director compensation and/or dividend equivalent rights according to the terms and conditions of the Redwood Trust Inc. Amended and Restated Executive Deferred Compensation Plan.

F2 · derivative.exercise_date: 100% vested at grant.

F3 · derivative.expiration_date: No expiration date is applicable to deferred stock units.

SEC source: 0001474435-18-000002 · edgardoc.xml · nonDerivative · entry 3

Pero Jeffrey T · CIK 0001474435 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 47,853.01

F1 · kind: Purchases were a result of prior election to reinvest dividends to purchase additional shares of the Redwood Trust, Inc. on dividend payable dates approved and declared by the Board of Directors.

F2 · shares: Transactions are rounded to to the nearest hundredth decimal.

SEC source: 0001144204-17-050704 · v476169_4.xml · derivative · entry 1

Robinson Dashiell I · CIK 0001716998 · Executive Vice-President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 61,237

Underlying: Common Stock · 61,237 shares

Expires not disclosed

F1 · security: This transaction relates to the grant of deferred stock units approved by the Compensation Committee of the Board of Directors to Mr. Robinson upon his commencement of employment with Redwood in the role of Executive Vice-President on September 28, 2017.

F2 · derivative.exercise_price: Represents fair market value RWT common stock on transaction date under the 2014 Incentive Award Plan.

F3 · derivative.exercise_date: This award of deferred stock units is fully vested at grant and subject to a one-year mandatory holding period.

F4 · derivative.expiration_date: No expiration date is applicable to deferred stock units.

SEC source: 0001513564-17-000004 · edgardoc.xml · derivative · entry 1

COCHRANE COLLIN LEE · CIK 0001513564 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,954

Underlying: Common Stock · 11,954 shares

Expires not disclosed

F1 · security: This transaction relates to the grant of deferred stock units approved by the Compensation Committee of the Board of Directors to Mr. Cochrane in connection with his promotion to the role of Chief Financial Officer, effective on September 1, 2017.

F2 · derivative.exercise_price: Represents fair market value RWT common stock on transaction date under the 2014 Incentive Award Plan.

F3 · derivative.exercise_date: 25% vests 10/1/2018, 6.25% every quarter thereafter. Fully vested 8/31/2021.

F4 · derivative.expiration_date: No expiration date is applicable to deferred stock units.

SEC source: 0001221603-17-000013 · edgardoc.xml · derivative · entry 1

PROCTOR GEORGANNE · CIK 0001221603 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 984.21

Underlying: Common Stock · 984.21 shares

Expires not disclosed

F1 · shares: This transaction relates to the acquisition of Deferred Stock Units in accordance with the deferral election made with respect to director compensation and/or dividend equivalent rights according to the terms and conditions of the Redwood Trust Inc. Amended and Restated Executive Deferred Compensation Plan.

F2 · derivative.exercise_date: 100% vested at grant.

F3 · derivative.expiration_date: No expiration date is applicable to deferred stock units.

SEC source: 0001233565-17-000010 · edgardoc.xml · derivative · entry 1

KUBICEK GREG H · CIK 0001233565 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,785.9

Underlying: Common Stock · 3,785.9 shares

Expires not disclosed

F1 · shares: This transaction relates to the acquisition of Deferred Stock Units in accordance with the deferral election made with respect to director compensation and/or dividend equivalent rights according to the terms and conditions of the Redwood Trust Inc. Amended and Restated Executive Deferred Compensation Plan.

F2 · derivative.exercise_date: 100% vested at grant.

F3 · derivative.expiration_date: No expiration date is applicable to deferred stock units.

SEC source: 0001474435-18-000002 · edgardoc.xml · nonDerivative · entry 2

Pero Jeffrey T · CIK 0001474435 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 47,044.18

F1 · kind: Purchases were a result of prior election to reinvest dividends to purchase additional shares of the Redwood Trust, Inc. on dividend payable dates approved and declared by the Board of Directors.

F2 · shares: Transactions are rounded to to the nearest hundredth decimal.

SEC source: 0001233537-17-000004 · edgardoc.xml · derivative · entry 2

HANSEN DOUGLAS B · CIK 0001233537 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 4,381 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.exercise_price: Represents fair value of Deferred Stock Units, based on the original grant date fair market value.

F1 · kind: This transaction relates to the distribution and/or conversion of Deferred Stock Units to common stock under the Executive Deferred Compensation Plan.

F1 · price: This transaction relates to the distribution and/or conversion of Deferred Stock Units to common stock under the Executive Deferred Compensation Plan.

F4 · derivative.exercise_date: Shares are subject to a minimum mandatory holding period and will be delivered to the Participant at the time provided in the Deferral Election but no sooner than May 20, 2017.

F5 · derivative.expiration_date: No expiration date is applicable to deferred stock units.

SEC source: 0001233537-17-000004 · edgardoc.xml · nonDerivative · entry 1

HANSEN DOUGLAS B · CIK 0001233537 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 333,446.43

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: This transaction relates to the distribution and/or conversion of Deferred Stock Units to common stock under the Executive Deferred Compensation Plan.

F2 · price: Represents the value (per stock unit or share of common stock) of the distribution and/or conversion of Deferred Stock Units, including to common stock under the Executive Deferred Compensation Plan, based on the fair market value of Redwood Trust, Inc. common stock on the transaction date.

SEC source: 0001466030-17-000004 · edgardoc.xml · nonDerivative · entry 1

Pallotta Karen R · CIK 0001466030 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · by IRA

Disclosed balance after: 3,027

SEC source: 0001233561-17-000006 · edgardoc.xml · derivative · entry 3

Byerwalter Mariann H · CIK 0001233561 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 4,381 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F5 · derivative.exercise_price: Represents fair value of Deferred Stock Units, based on the original grant date fair market value.

F1 · kind: This transaction relates to the distribution and/or conversion of Deferred Stock Units to common stock under the Executive Deferred Compensation Plan.

F1 · price: This transaction relates to the distribution and/or conversion of Deferred Stock Units to common stock under the Executive Deferred Compensation Plan.

F6 · derivative.exercise_date: Shares are subject to a minimum mandatory holding period and will be delivered to the Participant at the time provided in the Deferral Election but no sooner than May 20, 2017.

F7 · derivative.expiration_date: No expiration date is applicable to deferred stock units.

SEC source: 0001233561-17-000006 · edgardoc.xml · nonDerivative · entry 2

Byerwalter Mariann H · CIK 0001233561 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · by Trust

Disclosed balance after: 10,313.7

F3 · kind: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person in November, 2016.

F4 · price: This transaction was executed in multiple trades with prices ranging from $16.38 to $16.54, inclusive. The price reported in Column 4 above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide to the Securities and Exchange Commission staff, the Issuer, or a security holder of the Issuer, upon request, full information regarding the number of shares sold at each respective price within the range set forth in this footnote.

SEC source: 0001233561-17-000006 · edgardoc.xml · nonDerivative · entry 1

Byerwalter Mariann H · CIK 0001233561 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · by Trust

Disclosed balance after: 14,694.7

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: This transaction relates to the distribution and/or conversion of Deferred Stock Units to common stock under the Executive Deferred Compensation Plan.

F2 · price: Represents the value (per stock unit or share of common stock) of the distribution and/or conversion of Deferred Stock Units, including to common stock under the Executive Deferred Compensation Plan, based on the fair market value of Redwood Trust, Inc. common stock on the transaction date.

SEC source: 0001233547-17-000004 · edgardoc.xml · derivative · entry 4

BAUM RICHARD · CIK 0001233547 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 4,381 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F5 · derivative.exercise_price: Represents fair value of Deferred Stock Units, based on the original grant date fair market value.

F1 · kind: This transaction relates to the distribution and/or conversion of Deferred Stock Units to common stock under the Executive Deferred Compensation Plan.

F1 · price: This transaction relates to the distribution and/or conversion of Deferred Stock Units to common stock under the Executive Deferred Compensation Plan.

F6 · derivative.exercise_date: Shares are subject to a minimum mandatory holding period and will be delivered to the Participant at the time provided in the Deferral Election but no sooner than May 20, 2017.

F7 · derivative.expiration_date: No expiration date is applicable to deferred stock units.

SEC source: 0001233547-17-000004 · edgardoc.xml · nonDerivative · entry 2

BAUM RICHARD · CIK 0001233547 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,423.14

F3 · kind: Transaction made pursuant to a 10b5-1 trading plan adopted by the Reporting Person in November, 2016.

F4 · price: This transaction was executed in multiple trades with prices ranging from $16.44 to $16.59, inclusive. The price reported in Column 4 above reflects the weighted average sale price. The Reporting Person hereby undertakes to provide to the Securities and Exchange Commission staff, the Issuer, or a security holder of the Issuer, upon request, full information regarding the number of shares sold at each respective price within the range set forth in this footnote.

SEC source: 0001233547-17-000004 · edgardoc.xml · nonDerivative · entry 1

BAUM RICHARD · CIK 0001233547 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,175.14

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: This transaction relates to the distribution and/or conversion of Deferred Stock Units to common stock under the Executive Deferred Compensation Plan.

F2 · price: Represents the value (per stock unit or share of common stock) of the distribution and/or conversion of Deferred Stock Units, including to common stock under the Executive Deferred Compensation Plan, based on the fair market value of Redwood Trust, Inc. common stock on the transaction date.

SEC source: 0001144204-17-029078 · v467627_4.xml · derivative · entry 2

Pero Jeffrey T · CIK 0001474435 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 5,427 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.exercise_price: Represents fair value of Deferred Stock Units, based on the original grant date fair market value.

F1 · kind: This transaction relates to the distribution and/or conversion of Deferred Stock Units to common stock under the Executive Deferred Compensation Plan.

F1 · price: This transaction relates to the distribution and/or conversion of Deferred Stock Units to common stock under the Executive Deferred Compensation Plan.

F4 · derivative.exercise_date: Shares are subject to a minimum mandatory holding period and will be delivered to the Participant at the time provided in the Deferral Election but no sooner than May 20, 2017.

F5 · derivative.expiration_date: No expiration date is applicable to deferred stock units.

SEC source: 0001144204-17-029078 · v467627_4.xml · nonDerivative · entry 1

Pero Jeffrey T · CIK 0001474435 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 46,283

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: This transaction relates to the distribution and/or conversion of Deferred Stock Units to common stock under the Executive Deferred Compensation Plan.

F2 · price: Represents the value (per stock unit or share of common stock) of the distribution and/or conversion of Deferred Stock Units, including to common stock under the Executive Deferred Compensation Plan, based on the fair market value of Redwood Trust, Inc. common stock on the transaction date.

SEC source: 0001221603-17-000006 · edgardoc.xml · derivative · entry 1

PROCTOR GEORGANNE · CIK 0001221603 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,778

Underlying: Common Stock · 5,778 shares

Expires not disclosed

F1 · derivative.exercise_price: Represents fair market value RWT common stock on transaction date under the 2014 Incentive Award Plan.

F2 · kind: This transaction relates to the grant of Deferred Stock Units.

F3 · shares: 100% vested at grant.

F4 · derivative.exercise_date: Shares are subject to a minimum mandatory holding period and will be delivered to the Participant at the time provided in the Deferral Election but no sooner than May 20, 2020.

F5 · derivative.expiration_date: No expiration date is applicable to deferred stock units.

SEC source: 0001474435-17-000008 · edgardoc.xml · derivative · entry 1

Pero Jeffrey T · CIK 0001474435 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,778

Underlying: Common Stock · 5,778 shares

Expires not disclosed

F1 · derivative.exercise_price: Represents fair market value RWT common stock on transaction date under the 2014 Incentive Award Plan.

F2 · kind: This transaction relates to the grant of Deferred Stock Units.

F3 · shares: 100% vested at grant.

F4 · derivative.exercise_date: Shares are subject to a minimum mandatory holding period and will be delivered to the Participant at the time provided in the Deferral Election but no sooner than May 20, 2020.

F5 · derivative.expiration_date: No expiration date is applicable to deferred stock units.

SEC source: 0001466030-17-000002 · edgardoc.xml · derivative · entry 1

Pallotta Karen R · CIK 0001466030 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,778

Underlying: Common Stock · 5,778 shares

Expires not disclosed

F1 · derivative.exercise_price: Represents fair market value RWT common stock on transaction date under the 2014 Incentive Award Plan.

F2 · kind: This transaction relates to the grant of Deferred Stock Units.

F3 · shares: 100% vested at grant.

F4 · derivative.exercise_date: Shares are subject to a minimum mandatory holding period and will be delivered to the Participant at the time provided in the Deferral Election but no sooner than May 20, 2020.

F5 · derivative.expiration_date: No expiration date is applicable to deferred stock units.

SEC source: 0001233565-17-000008 · edgardoc.xml · derivative · entry 1

KUBICEK GREG H · CIK 0001233565 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,778

Underlying: Common Stock · 5,778 shares

Expires not disclosed

F1 · derivative.exercise_price: Represents fair market value RWT common stock on transaction date under the 2014 Incentive Award Plan.

F2 · kind: This transaction relates to the grant of Deferred Stock Units.

F3 · shares: 100% vested at grant.

F4 · derivative.exercise_date: Shares are subject to a minimum mandatory holding period and will be delivered to the Participant at the time provided in the Deferral Election but no sooner than May 20, 2020.

F5 · derivative.expiration_date: No expiration date is applicable to deferred stock units.

SEC source: 0001564301-17-000004 · edgardoc.xml · derivative · entry 1

Debora Horvath D · CIK 0001564301 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,778

Underlying: Common Stock · 5,778 shares

Expires not disclosed

F1 · derivative.exercise_price: Represents fair market value RWT common stock on transaction date under the 2014 Incentive Award Plan.

F2 · kind: This transaction relates to the grant of Deferred Stock Units.

F3 · shares: 100% vested at grant.

F4 · derivative.exercise_date: Shares are subject to a minimum mandatory holding period and will be delivered to the Participant at the time provided in the Deferral Election but no sooner than May 20, 2020.

F5 · derivative.expiration_date: No expiration date is applicable to deferred stock units.

SEC source: 0001233561-17-000004 · edgardoc.xml · derivative · entry 1

Byerwalter Mariann H · CIK 0001233561 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,778

Underlying: Common Stock · 5,778 shares

Expires not disclosed

F1 · derivative.exercise_price: Represents fair market value RWT common stock on transaction date under the 2014 Incentive Award Plan.

F2 · kind: This transaction relates to the grant of Deferred Stock Units.

F3 · shares: 100% vested at grant.

F4 · derivative.exercise_date: Shares are subject to a minimum mandatory holding period and will be delivered to the Participant at the time provided in the Deferral Election but no sooner than May 20, 2020.

F5 · derivative.expiration_date: No expiration date is applicable to deferred stock units.

SEC source: 0001233537-17-000002 · edgardoc.xml · derivative · entry 1

HANSEN DOUGLAS B · CIK 0001233537 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,778

Underlying: Common Stock · 5,778 shares

Expires not disclosed

F1 · derivative.exercise_price: Represents fair market value RWT common stock on transaction date under the 2014 Incentive Award Plan.

F2 · kind: This transaction relates to the grant of Deferred Stock Units.

F3 · shares: 100% vested at grant.

F4 · derivative.exercise_date: Shares are subject to a minimum mandatory holding period and will be delivered to the Participant at the time provided in the Deferral Election but no sooner than May 20, 2020.

F5 · derivative.expiration_date: No expiration date is applicable to deferred stock units.

SEC source: 0001233547-17-000002 · edgardoc.xml · derivative · entry 1

BAUM RICHARD · CIK 0001233547 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,778

Underlying: Common Stock · 5,778 shares

Expires not disclosed

F1 · derivative.exercise_price: Represents fair market value RWT common stock on transaction date under the 2014 Incentive Award Plan.

F2 · kind: This transaction relates to the grant of Deferred Stock Units.

F3 · shares: 100% vested at grant.

F4 · derivative.exercise_date: Shares are subject to a minimum mandatory holding period and will be delivered to the Participant at the time provided in the Deferral Election but no sooner than May 20, 2020.

F5 · derivative.expiration_date: No expiration date is applicable to deferred stock units.

SEC source: 0001144204-17-023947 · v464975_4.xml · derivative · entry 4

Hughes Martin S · CIK 0001024553 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 13,056 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.exercise_price: Represents fair value of Deferred Stock Units, based on the original grant date fair market value.

F1 · kind: This transaction relates to the distribution and/or conversion of Deferred Stock Units to common stock under the Executive Deferred Compensation Plan.

F1 · price: This transaction relates to the distribution and/or conversion of Deferred Stock Units to common stock under the Executive Deferred Compensation Plan.

F5 · derivative.exercise_date: Deferred Stock Units were subject to a mandatory holding period and are being delivered to the Participant at the time provided in the Deferral Election Form, according to the terms and conditions of the Executive Deferred Compensation Plan.

F6 · derivative.expiration_date: No expiration date is applicable to deferred stock units.

F7 · balance_after: Following these reported transactions, no other Deferred Stock Units with the same original grant date are beneficially owned.

SEC source: 0001144204-17-023947 · v464975_4.xml · derivative · entry 3

Hughes Martin S · CIK 0001024553 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,056

Underlying: Common Stock · 16,118 shares

Expires not disclosed

F3 · derivative.exercise_price: Represents fair value of Deferred Stock Units, based on the original grant date fair market value.

F4 · kind: This disposition transaction represents a Compensation Committee approved withholding of securities incident to the payment of tax liability relating to the distribution and/or conversion of Deferred Stock Units in the Executive Deferred Compensation Plan.

F1 · price: This transaction relates to the distribution and/or conversion of Deferred Stock Units to common stock under the Executive Deferred Compensation Plan.

F5 · derivative.exercise_date: Deferred Stock Units were subject to a mandatory holding period and are being delivered to the Participant at the time provided in the Deferral Election Form, according to the terms and conditions of the Executive Deferred Compensation Plan.

F6 · derivative.expiration_date: No expiration date is applicable to deferred stock units.

SEC source: 0001144204-17-023947 · v464975_4.xml · nonDerivative · entry 1

Hughes Martin S · CIK 0001024553 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 653,069

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: This transaction relates to the distribution and/or conversion of Deferred Stock Units to common stock under the Executive Deferred Compensation Plan.

F2 · price: Represents the value (per stock unit or share of common stock) of the distribution and/or conversion of Deferred Stock Units, including to common stock under the Executive Deferred Compensation Plan,

SEC source: 0001144204-17-023946 · v464974_4.xml · derivative · entry 3

COCHRANE COLLIN LEE · CIK 0001513564 · Controller, Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 3,838 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.exercise_price: Represents fair value of Deferred Stock Units, based on the original grant date fair market value.

F1 · kind: This transaction relates to the distribution and/or conversion of Deferred Stock Units to common stock under the Executive Deferred Compensation Plan.

F1 · price: This transaction relates to the distribution and/or conversion of Deferred Stock Units to common stock under the Executive Deferred Compensation Plan.

F5 · derivative.exercise_date: Deferred Stock Units were subject to a mandatory holding period and are being delivered to the Participant at the time provided in the Deferral Election Form, according to the terms and conditions of the Executive Deferred Compensation Plan.

F6 · derivative.expiration_date: No expiration date is applicable to deferred stock units.

F7 · balance_after: Following these reported transactions, no other Deferred Stock Units with the same original grant date are beneficially owned.

SEC source: 0001144204-17-023946 · v464974_4.xml · derivative · entry 2

COCHRANE COLLIN LEE · CIK 0001513564 · Controller, Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,838

Underlying: Common Stock · 4,738 shares

Expires not disclosed

F3 · derivative.exercise_price: Represents fair value of Deferred Stock Units, based on the original grant date fair market value.

F4 · kind: This disposition transaction represents a Compensation Committee approved withholding of securities incident to the payment of tax liability relating to the distribution and/or conversion of Deferred Stock Units in the Executive Deferred Compensation Plan.

F1 · price: This transaction relates to the distribution and/or conversion of Deferred Stock Units to common stock under the Executive Deferred Compensation Plan.

F5 · derivative.exercise_date: Deferred Stock Units were subject to a mandatory holding period and are being delivered to the Participant at the time provided in the Deferral Election Form, according to the terms and conditions of the Executive Deferred Compensation Plan.

F6 · derivative.expiration_date: No expiration date is applicable to deferred stock units.

SEC source: 0001144204-17-023946 · v464974_4.xml · nonDerivative · entry 1

COCHRANE COLLIN LEE · CIK 0001513564 · Controller, Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,838

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: This transaction relates to the distribution and/or conversion of Deferred Stock Units to common stock under the Executive Deferred Compensation Plan.

F2 · price: Represents the value (per stock unit or share of common stock) of the distribution and/or conversion of Deferred Stock Units, including to common stock under the Executive Deferred Compensation Plan,based on the fair market value of Redwood Trust, Inc. common stock on the transaction date.

SEC source: 0001144204-17-023943 · v464973_4.xml · derivative · entry 3

Abate Christopher J · CIK 0001453409 · President and CFO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 11,451 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.exercise_price: Represents fair value of Deferred Stock Units, based on the original grant date fair market value.

F1 · kind: This transaction relates to the distribution and/or conversion of Deferred Stock Units to common stock under the Executive Deferred Compensation Plan.

F1 · price: This transaction relates to the distribution and/or conversion of Deferred Stock Units to common stock under the Executive Deferred Compensation Plan.

F5 · derivative.exercise_date: Deferred Stock Units were subject to a mandatory holding period and are being delivered to the Participant at the time provided in the Deferral Election Form, according to the terms and conditions of the Executive Deferred Compensation Plan.

F6 · derivative.expiration_date: No expiration date is applicable to deferred stock units.

F7 · balance_after: Following these reported transactions, no other Deferred Stock Units with the same original grant date are beneficially owned.